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J.p. Morgan Securities LLC CRD 79
$430B regulatory AUM 407,036 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2022-04-20 |
| TX | RA | APPROVED | 2022-04-20 |
Branch Locations
19461 Main Street, Ste 102, Huntington Beach, CA 92648 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mufg Union Bank, Na | Newport Beach | CA | 03/2016 | 05/2017 |
| Unionbanc Investment Services, Llc | Newport Beach | CA | 01/2017 | 05/2017 |
| Ubs Financial Services Inc. | Newport Beach | CA | 05/2017 | 07/2017 |
| Mufg Union Bank | Corona Del Mar | CA | 07/2017 | 05/2018 |
| Unionbanc Investment Services, Llc | Newport Beach | CA | 08/2017 | 05/2018 |
| J.P. Morgan Securities Llc | Westminster | CA | 05/2018 | 08/2019 |
| Jpmorgan Chase Bank, N.A. | Westminster | CA | 05/2018 | 08/2019 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Huntington Beach | CA | 09/2019 | 04/2022 |
| Bank Of America, N.A. | Huntington Beach | CA | 09/2019 | 04/2022 |
| J.P. Morgan Securities Llc | Huntington Beach | CA | 04/2022 | Present |
| Jpmorgan Chase Bank, N.A. | Huntington Beach | CA | 04/2022 | Present |
| Union Bank | Newport Beach | CA | 07/2017 | 05/2018 |
| Union Bank | Newport Beach | CA | 03/2016 | 05/2018 |
| Ubs Financial Services, Inc | Newport Beach | CA | 05/2017 | 07/2017 |
| Merrill Lynch | Huntington Beach | CA | 09/2019 | 04/2022 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-04-12 |
| S63 | Uniform Securities Agent State Law Examination | 2017-03-06 |
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